34 result(s)
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1.
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2.
Vieira, Sebastiao Manuel - Vieira - 001 - 2001-12-21
Hearings and Proceedings - Statement of Allegations -
3.
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4.
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5.
Pereira, Jose Antonio and Lopes, Mario Manuel - Pereira - 001 - 2001-09-26
Hearings and Proceedings - Reasons for Decision -
6.
Pereira, Jose Antonio and Lopes, Mario Manuel - Pereira - 001 - 2001-08-14
Hearings and Proceedings - Amended Statement of Allegations -
7.
Pereira, Jose Antonio and Lopes, Mario Manuel - Pereira - 001 - 2001-07-10
Hearings and Proceedings - Amended Statement of Allegations -
8.
Pereira, Jose Antonio and Lopes, Mario Manuel - Pereira - 001 - 2001-07-04
Hearings and Proceedings - Notice of Hearing -
9.
Pereira, Jose Antonio and Lopes, Mario Manuel - Pereira - 001 - 2001-07-04
Hearings and Proceedings - Statement of Allegations -
10.
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11.
Loewen, William (Bill) - Loewen - 001 - 2001-06-28
Hearings and Proceedings - Statement of Allegations -
12.
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13.
Shrupka, Harold Albert - Shrupka - 001 - 2001-06-28
Hearings and Proceedings - Statement of Allegations -
14.
Datek Online Brokerage Services LLC, Ameritrade, Inc. and TD Waterhouse Investor Services, Inc. - Ameritrade/Datek - 001 - 2001-06-18
Hearings and Proceedings - Notice of Hearing -
15.
Datek Online Brokerage Services LLC, Ameritrade, Inc. and TD Waterhouse Investor Services, Inc. - Ameritrade - 001 - 2001-06-18
Hearings and Proceedings - Statement of Allegations -
16.
Janzen, Ernest David and Tri-West Investment Club - Janzen - 001 - 2001-06-01
Hearings and Proceedings - Enforcement Summary -
17.
Janzen, Ernest David and Tri-West Investment Club - Janzen - 001 - 2001-06-01
Hearings and Proceedings - Notice of Hearing -
18.
Hoeschen, James Richard - Hoeschen - 001 - 2001-05-23
Hearings and Proceedings - Reasons for Decision -
19.
Hoeschen, James Richard - Hoeschen - 001 - 2001-05-15
Hearings and Proceedings - Notice of Adjournment -
20.
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21.
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22.
Waitt, Thomas and BMO Nesbitt Burns - BMO Nesbitt - 001 - 2001-05-07
Hearings and Proceedings - Notice of Hearing -
23.
Waitt, Thomas and BMO Nesbitt Burns - BMO Nesbitt - 001 - 2001-05-07
Hearings and Proceedings - Statement of Allegations -
24.
Napper, Robert Charles - Napper - 001 - 2001-02-28
Hearings and Proceedings - Amended Statement of Allegations -
25.